Our Staff has compiled our research into a database of FINRA Broker Disclosures for Raymond James & Associates, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Richard A Holine | 2575857 | 1 | 08/14/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| William Roy Bredt | 1621507 | 4 | 08/13/1998 | Customer Dispute | Settled | $54,776.30 | $0.00 | See FINRA Report |
| Jeffrey M Goldberg | 1562205 | 1 | 08/03/1998 | Customer Dispute | Settled | $115,000.00 | $0.00 | See FINRA Report |
| Mitchell Louis Silverman | 500504 | 8 | 07/16/1998 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Martin Leo Truax | 449720 | 1 | 07/07/1998 | Customer Dispute | Denied | $29,721.50 | $0.00 | See FINRA Report |
| Kostas Nickolas Mattis | 5399132 | 3 | 07/01/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William F Wolbrecht | 1403619 | 5 | 06/18/1998 | Customer Dispute | Award / Judgment | $40,000.00 | $5,000.00 | See FINRA Report |
| Raymond Ernest Lee | 305414 | 1 | 06/16/1998 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Jacob Courtnay Rudolph | 1546133 | 1 | 06/09/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Andrew Miller Saunders | 1877442 | 2 | 06/05/1998 | Customer Dispute | Denied | $9,375.00 | $0.00 | See FINRA Report |